Investment advisory service

(redirected from Investment Advisory)

Investment advisory service

A business that specializes in providing investment advice for a fee. All advisers of an advisory service must be registered with the Securities and Exchange Commission.

Investment Advisory Service

A business that provides investing advice or counsel to an investor in exchange for a fee. Investment advisory services may interact directly with a client (e.g. by managing assets), or may provide passive, general advice on which securities or industries are bullish or bearish. Investment advisory services managing a certain amount of money must register with the SEC; the actions of all investment advisory services are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisory services to provide false or misleading information, and to sell or buy their own securities to or from a client. See also: Investment adviser.
References in periodicals archive ?
com)-- Ascentii, a brand of EPIC Software Corporation, the leading provider of cloud-based workforce optimization tools announced its formalized strategic partnership with Atlanta-based Human Investment Advisory, Inc.
Global Banking News-April 1, 2013--Bank of the West to offer broader investment advisory options to investors(C)2013 ENPublishing - http://www.
19 (2005), the Tax Court ruled (in a reviewed opinion, 18-0) that investment advisory fees incurred or paid by an estate or trust were deductible only to the extent they exceeded 2% of adjusted gross income (AGI).
Institute obtains investment advisory support for members .
The former president and chief investment officer of Albriond Capital Management was convicted of investment advisory fraud and mail fraud in the "cherry picking" scheme in June and pleaded guilty in October to conspiracy, investment-advisory fraud, and making false tax returns.
All through the '90s and into the new millennium, California CPAs have been riding the wave of financial gain as they transition away from traditional tax and audit services and into the world of personal financial planning and investment advisory services.
a fully-integrated investment advisory and management firm with nationwide expertise in the establishment of investment strategies.
Guggenheim Investment Advisory to provide investment solutions through open-architecture platform
19 (2005), the Tax Court held that investment advisory fees that a trust paid were deductible only to the extent they exceeded 2% of the trust's adjusted gross income (AGI) under Sec.
STATE AND FEDERAL SECURITIES REGULATORS monitor paid arrangements between investment advisory firms and solicitors, depending on whether the firm is registered with the state or with the SEC.
Securities and Exchange Commission has granted the Company's request for no-action relief under section 12(d)(3) of the Investment Company Act of 1940 to permit it to establish a wholly-owned investment advisory subsidiary.
In O'Neill, the Sixth Circuit, reversing the Tax Court, ruled that investment advisory fees paid to third-party advisers by individual trustees (who personally lacked investment experience) met Sec.

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